(a) GeneralExcept as otherwise provided by paragraph (b) of this Rule, each general securities member shall, with a frequency of not less than once every calendar quarter, send a statement of account ("account statement") containing a description of any securities positions, money balances, or account activity to each customer whose account had a security position, money balance, or
REQUEST FOR COMMENT
Order Audit Trail System (OATS)
Comment Period Expires: January 20, 2005
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
OATS
Executive Summary
NASD is issuing this Notice to Members to solicit
Executive Summary
On May 17, 2002, the Securities and Exchange Commission (SEC) approved a rule change requiring members to obtain a signed Subordination Agreement Investor Disclosure Document (Disclosure Document) from each investor before entering into a subordination agreement with that investor.
The Disclosure Document requirement, the text of which is provided in Attachment A, becomes
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The information below will help you get the most out of all aspects of the conference. Over the next two-and-a-half days, you can choose from over 30 sessions to attend and with numerous opportunities to network with peers, interact with FINRA staff, and learn about products and services designed to help you comply with FINRA
Exemptive relief is denied based on the following considerations: (1) this marks the second time in three years that Name made a political contribution without following the Firm’s established pre-clearance processes resulting in a prohibition of municipal securities business under the Rule;5 and (2) Name has an extremely high profile within the Firm and the state’s political and business community. -
FINRA requests comment on two proposed changes to the TRACE reporting rules that were recommended by the Securities and Exchange Commission’s Fixed Income Market Structure Advisory Committee. The proposed changes would require firms to: (1) identify corporate bond trades where the price of the trade is based on a spread to a benchmark Treasury security that was agreed upon earlier in the
INFORMATIONAL
Imposition And Collection Of Monetary Sanctions
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KEY TOPICS
Legal & Compliance
Senior Management
Disciplinary Actions
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
The purpose
Last Voting Date: July 16, 1999
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Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
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Institutional
Insurance
Internal Audit
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A Changing Industry – A Changing FINRA
Good morning, and thank you Chip [Jones, FINRA’s Head of Member Relations and Education]. We all owe a debt of gratitude to Chip and his fantastic team for once again organizing an excellent conference, including more than 50 expert panel discussions that will help us better protect and serve investors.
I look forward to the honor of welcoming our keynote
FINRA Provides Guidance on Advertising Regulation Issues
